Search for: "Securities and Exchange Commission v. Lee"
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8 Aug 2018, 1:51 pm
Federal Election Commission. [read post]
3 Oct 2022, 9:03 pm
Securities and Exchange Commission that ALJs have the type of position and authority that makes them officers rather than mere employees in constitutional terms. [read post]
13 Feb 2023, 7:28 am
”Panelist David Olivencia, CEO of Angeles Investors, recalled an exchange with a prospective angel investor who did not qualify as an accredited investor. [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
13 Aug 2009, 1:40 am
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08/12/2009
Complaint: Securities and Exchange Commission v. [read post]
12 Apr 2019, 6:20 am
Securities and Exchange Commission, on Tuesday, April 9, 2019 Tags: Human capital, Investor protection, SEC, SEC rulemaking, Securities enforcement, Securities regulation Encouraging Smaller Entrants to Our Capital Markets Posted by Elad L. [read post]
19 Sep 2018, 5:56 am
Securities and Exchange Commission, in which the justices held that SEC administrative law judges are “officers of the United States” under the appointments clause, who have to be appointed by the president, a court or a department head; they predict “interesting times ahead for the Administrative State. [read post]
27 Nov 2015, 9:39 am
The imperative of public security in Warren’s value system reappeared in 1964, when he unilaterally decided that the members of the Warren Commission and its staff should not examine the FBI’s files on Lee Harvey Oswald and that forensic evidence concerning Kennedy’s autopsy should be withheld from the public. [read post]
30 Sep 2007, 2:18 pm
Cass v. [read post]
15 Nov 2019, 6:17 am
Securities and Exchange Commission, on Friday, November 8, 2019 Tags: Audits, Compliance and disclosure interpretation, Cryptocurrency, ICOs, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation, Small firms, Transfer agents Company Hedging Policies: Observations from New Proxy Disclosures Posted by David Gordon, Dina Bernstein, and Andrew R. [read post]
1 Mar 2024, 3:00 am
However, in State v. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
6 Aug 2009, 6:51 am
SEC Plans The Securities and Exchange Commission plans to weigh in this week on an investor lawsuit against Joseph Collins, Refco Inc.'s former outside lawyer, and his law firm, Mayer Brown LLP, said Salvatore Graziano, a lawyer at Bernstein Litowitz Berger & Grossmann LLP in New York representing the plaintiffs. [read post]
16 Jan 2024, 8:05 am
Securities and Exchange Commission (SEC). [read post]
16 Dec 2010, 5:03 pm
American Nursery marketed and sold grapevines, which LCGN and LCGNO produced in exchange for a percentage commission of each sale. [read post]
19 Jul 2020, 9:03 pm
Securities and Exchange Commission can enforce securities laws and reimburse victims of fraud and other securities violations. [read post]
13 Feb 2023, 7:54 am
Trump v. [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
5 Aug 2022, 6:30 am
Securities and Exchange Commission, on Saturday, July 30, 2022 Tags: Broker-dealers, Financial regulation, Financial technology, FINRA, High-frequency trading, SEC, Securities regulation What Do Elevated Shareholder Expectations Mean for Large Company Boards and Compensation Programs? [read post]
12 Oct 2012, 1:47 pm
She accessed his account by guessing the correct answers to his security questions and read the e-mails exchanged between Jennings and his paramour. [read post]
